HomeMy WebLinkAbout2023-02 Department of Information Technology Help Desk and Help Desk Work OrdersCounty of Hawai`i
Office of the County Auditor
Department of Information Technology
Help Desk and Help Desk or Orders
Report No. 2023-02
May 1 2023
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Tyler J. Benner
County Auditor
County of Hawai'i
Office of the County Auditor
Ph 808.961.8386
County of Hawai'i
Office of the County Auditor
County Auditor 120 Pauahi St., 309
County of Hawaii Hilo, HI 96720 `
F 808.961.8905
www.hawaiicounty.gov
May 1, 2023
Honorable Heather Kimball, Council Chair
and Members of the Hawaii County Council
Hawaii County Council
25 Aupuni Street
Hilo, Hawaii 96720
Dear Council Chair Kimball and Council Members,
Iam writing to inform you of the completion of our review of the Help Desk and Work
Order processes at the Department of Information Technology. This audit was conducted
in accordance with generally accepted government auditing standards and the Hawaii
County Charter Section 3-18(d)(2). As part of our annual audit plan, we evaluate the
funds, programs, services, and operations of any county agency, executive agency, or
program.
Our objective was to determine whether the Help Desk and Help Desk Work Orders at
the Department of Information Technology align with industry standards. We found that
while the Help Desk section is minimally adequate in resolving and closing help tickets, it
has not utilized its existing capabilities to measure overall performance or evaluated
resources to ensure it can support the County's current environment. This has led to
frustration among County agencies and end-users, who often experience long delays and
a lack of response when using these services.
We have provided six recommendations in our report to help address areas for
improvement. These recommendations include establishing performance measures,
policies, and procedures, increasing monitoring and oversight, providing training
opportunities to employees and end-users, and evaluating and implementing necessary
resources to support the functions of the Help Desk section. These recommendations will
improve the Department of Information Technology's Help Desk and Help Desk Work
Order.
We want to thank the Department of Information Technology for their collaboration,
professionalism, and feedback during this audit engagement.
In response to a draft of this report, management has expressed general agreement with
our audit results. A copy of management's complete response can be found in Chapter 4.
Hawai`i County is an Equal Opportunity Provider and Employer
To ensure that our audit recommendations are implemented or resolved, we will
continuously monitor their status using our remediation tracker. You can view the status
of these recommendations at https://www.hawaiicounty.gov/our-county/legislative/office-
of-the-county-auditor.
If you have any questions or concerns about the status of the recommendations
discussed, please feel free to contact me at 961-8386.
Respectfully,
Tyler J. Benner
County Auditor
County of Hawaii
cc: Mitchell D. Roth, Mayor
Lee Lord, Managing Director
Jon Henricks, County Clerk
Scott Uehara, Director of Information Technology
Matthew laukea, Information Systems Program Manager
Table of Contents
ExecutiveSummary.................................................................................................... 1
AboutUs....................................................................................................................... 5
Objective, Scope & Methodology..............................................................................6
Chapter1 Introduction................................................................................................. 7
Chapter 2 Audit Results............................................................................................18
NoPerformance Metrics............................................................................................20
Recommendation 1: Establish Performance Metrics............................................21
No Written Help Desk Policies and Procedures....................................................22
Recommendation 2: Develop and Enforce Policies and Procedures ................23
Lack of Monitoring and Oversight............................................................................24
Recommendation 3: Increase Monitoring and Program Oversight .....................25
Lack of Training Initiatives.........................................................................................26
Recommendations 4 & 5: Provide Training............................................................27
Under Utilization of Resources.................................................................................28
Recommendation 6: Evaluate Budget, Staffing, and Other Resources ..............30
Chapter 3 Fraud, Waste and Abuse........................................................................32
Conclusion...................................................................................................................33
Chapter 4 Management Response...........................................................................35
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Executive Summary
The goal of the Department of Information Technology (DIT) is to support the County in the
creation and implementation of technology solutions to improve government services and
modernize the County of Hawaii. DIT is responsible for researching, selecting, acquiring,
implementing, and managing technology solutions to enable various departments to provide
citizens with services that promote a safe, efficient, and productive community. The Help Desk
provides support to end-users and endpoints in the County's domain, including endpoint support
(configuration, deployment, and maintenance of desktop PCs, laptops, tablets, and peripherals)
and end-user support (technical advice, recommendations, software installations, configuration,
and endpoint connectivity).
When an organization's help desk is running as designed, it provides several benefits to
departments: facilitating knowledge sharing, promoting efficiency by using specialized tools and
techniques, and providing insights into system performance to identify opportunities for
improvement. Providing inadequate service can harm the organization's overall productivity,
efficiency, and department satisfaction and generally detract from the organization's overall
success.
This audit evaluates the efficiency and effectiveness of internal controls over the help desk and
help desk work orders and compares the Help Desk's support environment to best practices. Our
audit identified several areas where the DIT's help desk could improve its operations.
As of April 2023, our audit found that DIT's help desk needs to:
• Develop key performance metrics to gauge efficiency,
• Implement written policies and procedures over the help desk and help desk work
orders,
• Increase goal -driven management monitoring and program oversight,
• Provide training to management, staff, and end-users,
• Improve its ticketing system initial logging and back -end retention,
• Maintain and promote professional competency through training,
• Review resources and program architecture.
Based on our audit's objectives and review of various components, we offer six
recommendations to improve the efficiency and effectiveness of the DIT's help desk:
Establish Key Performance Metrics
1. We recommend DIT's help desk establish performance metrics and benchmarks as it
aligns with department expectations and industry best practices. Elements should include:
a. Develop and implement key performance indicators (KPIs) and metrics to measure
the effectiveness and productivity of the Help Desk based on industry standards.
b. Utilize HelpSpot to its full potential to measure performance and collect valuable
data that can be used to improve operations.
Executive Summary 1
c. Train Help Desk staff on the importance of performance metrics, KPIs and how to
use HelpSpot to collect and analyze data.
In addition, these KPIs should be regularly monitored and reviewed to ensure they remain
relevant and effective.
Develop and Enforce Policies and Procedures
2. We recommend DIT 's help desk continue to develop, implement, and formalize written
policies and procedures to provide requisite knowledge and expectations to help desk
staff. Additionally, management should prioritize a schedule to review and update policies
and procedures annually to reflect changes in technology, business needs, and industry
best practices.
Increase Monitoring and Program Oversight
3. We recommend DIT 's help desk memorialize and maintain routine monitoring and
oversight procedures for internal controls to ensure their effectiveness in the help desk's
day-to-day operations. Elements should include:
a. Develop a process for monitoring the productivity and performance of help desk
staff to identify improvement areas and optimize service delivery.
b. Define service -level expectations and metrics to ensure that the help desk meets
department goals and expectations and provides high-quality service to end-
users.
c. Implement regular oversight reviews to ensure that the help desk is complying
with applicable industry best practices, laws, and governance and is achieving
the expected results.
d. Provide clear direction and expectations for help desk staff to ensure they work
effectively and efficiently towards department goals.
e. Ensure that dedicated oversight is responsible for reviewing and monitoring the
help desk service to identify and address any issues or areas for improvement.
Provide Training
4. We recommend DIT 's help desk implement formalized training programs for help desk
staff to ensure they are equipped with the necessary skills and knowledge to support the
technology needs of the County of Hawaii. This should include training in new and
existing tools and ongoing professional development opportunities to ensure staff is
current on industry best practices and department expectations.
5. We further recommend DIT provide training to end-users on the appropriate use of the
ticketing system. This training should include education on submitting and prioritizing work
orders, providing adequate and complete information when submitting a ticket, and the
importance of following up with the Help Desk for updates and resolution.
2 Executive Summary
Evaluate Budget, Staffing, and Other Resources
6. We recommend DIT assess its program architecture, staffing, and resource limitations and
develop a plan to address these issues as follows:
First, thoroughly analyze their current program architecture to determine whether
they adequately support the needs of the County of Hawai`i's domain. This analysis
should consider the increasing demand for technology services.
In addition, DIT should review its current staffing levels and resource allocation,
including hardware, software, and other technology assets, to determine if there
are any areas where additional investments could improve the efficiency and
effectiveness of the help desk. This review should consider the need for up-to-date
hardware and software tools, additional staffing, and other resources that could
help improve the quality of service provided to end users.
Conclusion
When our recommendations are implemented, the department can expect the following benefits:
Establish Key Performance Metrics
1. Establishing performance metrics will allow management to identify areas for
improvement better and take corrective action where necessary, ultimately increasing
efficiency and effectiveness in help desk operations.
Develop and Enforce Policies and Procedures
2. Developing, implementing, and formalizing written policies and procedures increases
consistency and service quality, efficiency, better communication, and collaboration
among staff while increasing customer satisfaction and reducing risks throughout the
department.
Developing a schedule will allow management and staff to collaborate their efforts and
provide, where necessary, updates that may continue to promote awareness and
productivity.
Increase Monitoring and Program Oversight
3. Prioritizing monitoring and oversight will ensure efficient and effective service delivery,
prevent security breaches and other IT failures, and enhance customer satisfaction. It
can also identify and address deficiencies and vulnerabilities in IT operations, improve
decision-making, and demonstrate the value of the IT department to the County.
Provide Training
4. Providing training to help desk staff and management can ensure they have the
necessary skills and knowledge to provide effective technological support for the
County of Hawaii. Ongoing professional development opportunities ensure staff is
updated with industry best practices and department expectations. End-user training
Executive Summary 3
aids in understanding how to use the Help Desk properly, submit help tickets, provide
the necessary information, and follow-up for updates and resolutions. Training efforts
can improve the quality of IT support, increase efficiency, and enhance end-user
satisfaction.
Evaluate Budget, Staffing, and Other Resources
5. By conducting a thorough analysis of the program architecture, staffing levels, and
resource allocation, DIT will be better able to identify areas to improve and increase
its capacity to support technology services and improve the quality of service to end-
users. DIT can expect reduced lapses times and increase effectiveness. It will also
help DIT stay competitive with technological advancements and provide better service
to the County of Hawaii.
We thank the Department of Information Technology for their cooperation and efforts to improve
internal controls over their help desk and help desk work orders.
To improve government accountability and ensure audit recommendations are implemented or
resolved, we will continuously monitor the status of pending recommendations using our
remediation tracker. To view the status, visit us at: https://www.hawaiicounty.gov/our-
county/legislative/office-of-the-county-auditor
4 Executive Summary
About Us
Mission
It is our mission to serve the Council and citizens of Hawaii County by promoting accountability,
fiscal integrity, and openness in local government. Through performance and/or financial audits
of County agencies and programs, the Office of the County Auditor examines the use of public
funds, evaluates operations and activities, and provides findings and recommendations to elected
officials and citizens in an objective manner. Our work is intended to assist County government in
its management of public resources, delivery of public services, and stewardship of public trust.
Audit Authority
Hawaii County Charter §3-18 establishes an independent audit function within the Legislative
branch through the Office of the County Auditor.
Purpose
This engagement aims to evaluate the efficiency and effectiveness of internal controls over the
help desk and help desk work orders and compare the Department of Information Technology's
help desk and user support environment to best practices.
Performance Audit Definition
Performance audits provide objective analysis, findings, and conclusions to assist management
and those charged with governance and oversight with, among other things, improving program
performance and operations, reducing costs, facilitating decision-making by parties responsible
for overseeing or initiating corrective action, and contributing to public accountability.
Our objective in performance auditing is to improve public services provided by county
government. We do this by recommending specific actions that will address the issues we raised
and by providing valuable information to the public, the administration, program leadership, the
county council, and the mayor.
About Us 5
Objective, Scope & Methodology
Objective
To evaluate if the Department of Information Technology's help desk and help desk work orders
are effectively designed to ensure compliance with industry standards.
Scope
The audit evaluated the help desk and help desk work orders from July 2020 to September 2022.
The audit was conducted from November 2022 to April 2023.
Methodology
To accomplish our objective, we conducted the following activities:
• Developed an understanding of policies, procedures, practices, and internal controls over
help desk and help desk work orders.
• Assessed compliance with applicable laws, governance, and standards such as:
o Control Objectives for Information and Related Technologies (COBIT-19)
o Information Technology Service Management (ITSM)
o Information Technology Infrastructure Library (ITIL)
• Corroborated information with appropriate staff
• Reviewed, as necessary, information pertinent to help desk and work orders.
• Conducted site visits to observe monitoring and oversight practices.
• Noted exceptions and identified areas for improvement.
• Was mindful of potential fraud, waste, and abuse during the audit.
We conducted this performance audit in accordance with generally accepted government auditing
standards. These standards require that we plan and perform the audit to obtain sufficient,
appropriate evidence to provide a reasonable basis for our findings and conclusions based on our
audit objectives. We believe that the evidence obtained provides a reasonable basis for our
findings and conclusions based on our audit objectives.
6 Objective, Scope, and Methodology
Chapter 1
Introduction
What is the primary function of the Department of Information Technology?
The Department of Information Technology (DIT) supports the County in the creation and
implementation of technology solutions to improve government services and modernize the
County of Hawaii. DIT is responsible for researching, selecting, acquiring, implementing, and
managing technology solutions which allows various departments, agencies, and the legislative
branch to provide the citizens of Hawaii County with services that enable a safe, efficient, and
productive place to live, work and play.
County of Hawai'i - DIT Strategic Framework
IT vision
As a trusted business partner, DIT delivers
valued technology solutions.
IT Mission
To empower the County of Hawaii with modern
technologies to enable county employees in
serving our citizens efficiently and effectively with
aloha.
IT Guiding Principles
• Solutions -focused
• Relationship -driven
• Cloud -first*
• Innovation
• Enterprise -wide focus
• Enhance > buy > build
• Productivity
• Secure systems
• Simplicity
• Teamwork
• Data -driven enterprise
• One IT
*not applicable to emergency management applications
County of Hawai'i Goals DIT Goals IT Initiatives
Provide County Infrastructure and services Business Capabilities Workforce Optimization IT Capabilities
Maintain safety and security " Modernize and enhance infrastructure and enterprise solutions "
Improve communication and engagement " Grow partnerships between DIT and departments "
Modernize process " Optimize IT operations "
Support economic development " Mature IT service management "
Source: Department of Information Technology, 2020
DIT has a workforce of approximately 22 individuals consisting of analyst, administration, and
specialty roles, serving approximately 3,000 employees within the County's 23 1 departments.
1 County's 23 departments are inclusive of two divisions, "Legislative Research and Development Division" and
"Elections Division", which are housed under the County Clerk's Department.
Introduction 7
Budget and Actuals FY 18'to 22'
FY 17'-18' 18'-19' 19'-20' 20'-21' 21'-22'
Budget
Salary &Wages $1,288,728.00 $1,417,044.00 $1,435,228.00 $1,378,032.00 $1,467,180.00
OCE $1,279,205.00 $1,239,797.00 $1,549,612.00 $1,560,153.00 $1,947,620.00
Eqpt $ 292,905.00 $ 240,199.00 $ 428,548.00 $ 158,363.00 $ 295,896.00
DCCA -HI Wifi Pilot $ 0.00 $ 0 00 $ 0.00 $ 0.00 $ 0.00
Total $2,860, 838.00 $2,897,640.00 $3,413,388.00 $3,096,548.00 $3,710,696.00
Actual
Salary Wage $1,277,139.62 $1,281,845.53 $1,190,020.29 $1,354,392.23 $1,266,356.31
OCE $1,135,583.96 $1,094,865.99 $1,132,634.43 $1,534,538.43 $1,674,771.49
Eqpt $ 387,957.51 $ 144,187.66 $ 252,378.33 $ 297,920.65 $ 47,502.58
DCCA -HI Wifi Pilot $ 0.00 $ 0.00 $ 7,066.36 $ 8,731.20 $ 11,996.31
Total $2,800,681.09 $2,520,899.18 $2,582,099.41 $3,195,582.51 $3,000,626.69
*Initial Bridget
Source: COH Approved Operating Budget FY17-22
The Information Technology department does not track its expenditures by division. When an
Information Technology department only follows its spending at a high level, it can lead to
difficulties in accurately determining budget allocations or actual expenditures related to specific
divisions within an organization. While IT departments may not be required to allocate their
spending in this way, it can make it challenging for other departments or stakeholders to
understand how much of the budget is being spent on their specific needs.
This lack of transparency can cause frustration, hinder effective communication between
departments, and potentially impact overall budget planning and management. Additionally, not
tracking expenditures by division can make it more challenging to identify areas where cost
savings could be realized or where additional funding may be needed to support critical projects
or initiatives.
Therefore, DIT should consider implementing more detailed tracking and reporting mechanisms
to provide greater insight into their spending and support decision-making across the
organization.
8 Introduction
County of Hawai'i
Director of Information Technology
Position Organizational Chart
Director of Information Technology is at the top.
Below to the right of Director is Private Secretary.
Directly under the Director of Information Technology is User Support, GIS Support, and System Support.
Under User Support,
Information Systems Program Manager.
Then you have Helpdesk and Applications.
Under Helpdesk there is:
Information System Analyst 3,
Information System Analyst 3,
Information System Analyst 3 (Kona), and Information System Analyst 3.
Under Applications:
Information System Analyst 5,
Information System Analyst 5,
Information System Analyst 4,
Information System Analyst 3, and
Information System Analyst 3.
Under GIS Support:
Geographic Information Systems Manager.
Under System Support:
Information Systems Program Manager.
Under Information Systems Program Manager:
Information Systems Analyst 5,
Information Systems Analyst 5 (Kona),
Information Systems Analyst 4,
Information Systems Analyst 4,
Information Systems Analyst 5,
Information Systems Analyst 5, and
Information Systems Analyst 3 (Kona).
Director and Administration
The director manages and directs the operations of the network system, coordinates and
oversees the operations of departmental technology, except for technology maintained by the
department of water supply, provides technical expertise in information technology to applicable
departments and agencies of the County, assists in the development of an information technology
workforce and services -oriented infrastructure, advises the mayor on matters related to
information technology and performs other duties as may be required by the law.
The administrator and/or administration, under administrative direction, plans, organizes and
directs the activities of a major functional branch of the County's central information technology
(IT) department and performs other related duties as required.
Information Systems Analyst
Information Systems Analyst performs moderately difficult work of a technical nature in the
analysis, evaluation, and development of information technology systems and procedures.
Further, they prepare reports of findings and recommendations and may perform other related
duties as required.
Support Roles
DIT consists of three divisions: User Support, GIS Support, and Systems Support, with User
Support supporting functions of Help Desk and Applications management.
User Support
Help Desk provides support to end-users and endpoints of the County of Hawaii domain.
Endpoint support includes but is not limited to the configuration, deployment, and
maintenance of desktop PCs, laptops, tablets, and respective peripherals. End-user
support includes but is not limited to the provision of technical advice and
recommendations, software installations, configuration, and physical endpoint
connectivity.
Applications analyzes, designs, develops, tests, implements, and supports computer
applications running on the County network. Further, assists County departments with the
evaluation, selection, and implementation of applications and information systems.
Provides technical advice, custom reports, and resolves problems for designated
computer applications such as FRESH, Utility Billing, Laserfiche Document Management,
FireRMS, and Building Permits. Provides systems analysis, programming support, and
coordinates all departmental use of the County of Hawaii website and SharePoint Intranet
sites. Coordinates and provides software training for County staff.
Geographic Information Systems ("GIS") Support provides an accessible GIS infrastructure
that is properly managed, maintained, secured, audited documented, administered, robust,
scalable, and governed. Assists, supports, and provides guidance to departmental programs,
target audiences and County spatial date initiatives. Publish and maintain public data resources
including shared databases, web maps and GIS Services. Support departments that do not have
internal GIS expertise.
10 Introduction
Systems Support implements, monitors, and manages the County network and information
systems. Provides support, coordinates maintenance, and resolves problems with the system
servers. Oversees Department of Technology's procured hardware which encompasses network
communications, VOIP systems, Firewalls, and related equipment that protect the County
information systems. Oversees DIT procured software for network security, virus protection, email
servers, file storage and data backup. Analyzes, identifies, and conducts problem resolution for
the DIT network, server, and workstation -based software systems. Researches and implements
new technologies for information systems.
The department has two office locations and one base yard location — Hours: 7:45 AM — 4:30
PM, Monday — Friday
East Hawai'i
1990 Kino`ole St. Suite 105
Hilo, HI 96720
Phone: (808) 932-2960
Hilo Basevard
630 E. Lanikaula St.
Hilo, HI 96720
West Hawai'i
74-5044 Ane Keohokalole
Hwy, Building F
Kailua-Kona, HI 96740
Introduction 11
*Generic Example* IT Help Desk Flowchart.
Example Guide To Process and Escalation.
Flowchart Key:
Gray box is Help Desk Tech.
Blue box is End User.
Purple box is Technician.
Yellow arrow is Outside Vendor.
Green diamond is Critical Action. and
Gray oval shape is Supervisor.
By phone call (blue box).
Next is acknowledge the issue (gray box).
Then Help Desk creates ticket (green diamond).
For email and portal (blue boxes).
The system creates a ticket (black box).
For all three (phone call, email and portal after ticket is created) next step is: Prioritize the call. Can the issue be solved immediately? (gray box)
If yes, Complete ticket (red box).
If no, Assigned to a tech (gray box).
Tech will: Analyze & address problem (green diamond).
Is it resolved (purple box)?
If Yes, Complete ticket (red box).
If no, Send to Supervisor (purple box).
Supervisor will: Evaluate & Research the problem (Green Diamond)
Supervisor will: Inhouse solution (gray oval shape) or Advise User (Green Diamond).
If inhouse solution: Supervisor will instruct technician (gray oval shape).
If not, supervisor will Advise End User (green diamond).
Technician will Implement Solution (green diamond).
Is it solved? (purple box). If yes, complete ticket (red box). If no, back to supervisor (purple box).
Advise end user. Next step would be: Determine Action Requires (gray oval shape).
End user can request service (green diamond).
Service or repair as agreed (yellow arrow). Outside vendor.
Is it resolved? (gray oval shape)
If Yes, Complete Ticket (red box).
If no, Service or repair as agreed complete solution as necessary to resolve (yellow box).
If Yes, Complete Ticket (red box).
If No, Unable to resolve management decision with end user in mind (red box).
Compiled by the Office of the County Auditor
The above graphic illustrates a typical, example decision tree flow chart process including escalation
procedures. It is a not a requirement that organizations set up according to this flowchart, rather it
represents how a prudently run department might design its workflow process.
12 Introduction
Hawai'i County IT Help Desk Flowchart.
Improvement Opportunities | A Guide To The County Of Hawaii's Process.
Example: KPI's absent that should support the program:
User Submits Ticket,
Next
An acknowledgement email is sent to the submitter,
Next
Ticket is received to the Ticketing System Inbox.
Ticket Inbox is monitored by DIT personnel. Tickets are received and categorized.
Next
Ticket is assigned to appropriate staff for mitigation.
Data is gathered understand the issue presented, and to provide a series of potential solutions.
Next
Staff makes contact to begin the resolution process.
Next
A potential solution is recommended to either resolve the issue or eliminate suspect cause(s).
This step is repeated until potential solutions are exhausted, or problem is resolved.
Next
Issue is resolved , ticket inquiry is satisfied, or issue is deemed "not fixable."
Finally
Ticket is closed.
1. Average Speed of Answer (ASA): This measure the average time it takes for a helpdesk agent to answer a call or respond to a chat or email. A lower ASA indicates that the helpdesk is responsive and able to handle customer inquires quickly.
2. Ticket Resolution Time: This measures the time it takes for the helpdesk to resolve a customer issue or incident from the time it is reported. A lower ticket resolution time indicates that the helpdesk is responsive and able to quickly resolve customer issues.
3. Average Handling Time (AHT): This measures the average time it takes for a helpdesk agent to resolve an issue or incident. A lower AHT indicates that the helpdesk is efficient at handling customer inquiries and resolving issues.
4. First Call Resolution (FCR) Rate: This measure the percentage of issues or incidents that are resolved during the first contact or interaction with the helpdesk. A higher FCR rate indicates that the helpdesk is efficent and effective at resolving issues.
5. First Contact Resolution (FCR) Rate by Channel: This measure the percentage of issues or incidents that are resolved during the first contact or interaction with the helpdesk across diferent channels, such as phone, email, or portal. This metric can help identify which channels are more effective at resolving customer issues.
6. Customer Satisfaction (CSAT) Score: This measure the satisfaction level of customers with the helpdesk's services. A higher CSAT score indicates that customers are satisfied with the helpdesk's performance.
Process improvement opportunities.
1. The acknowledgement e-mail does not include an estimated response time.
2. Categorization priorities are inconsistent with industry best practices.
3. For phone calls, no tickets are created.
4. When Help Desk refers the issue to another division, it stops tracking the resolution.
5. Techs will assign themselves work orders in queues. When called to a priority assignment or in the case of absences or vacations, call may sit unresolved for long period of time.
6. There isn't a clearly defined escalation process to ensure a timely response.
7. The end user does not know when the issue is being escalated.
8. The staff responsible for resolving the ticket should provide regular updates to the submitter to keep them informed of the progress.
9. There should be a documented process for identifying and implementing the best solution, such as a decision-making framework or standard operating procedures.
10. When helpdesk is unable to resolve the issue, they will occasionally leave the call open and unresolved for extended periods of time.
11. Once the ticket is resolved, it should be documented and stored for future reference or analysis.
Guide to the Process and Escalation, Source: Department of Information Technology 12-2022.
Compiled by the Office of the County Auditor based on source documents of DIT
The above graphic illustrates the County of Hawai`i`s high level ticket lifecycle. Added, (Left side,
enumerated) are elements or procedures absent, (KPI )s) or where improvement opportunities exist,
(process improvement opportunities).
Introduction 13
Lifecycle Steps
1. End-users submit ticket requests.
2. Upon receipt, an acknowledgment email is sent to the requestor and provides a link for
the user to track their ticket's progress.
3. Once received, the ticket is reviewed by DIT staff for the appropriate categorization and
assignment. At this stage, tickets may be reassigned to another DIT section for appropriate
mitigation.
4. Help desk staff contacts the requestor to either request more information or confirm a
solution.
a. Solution proposals may be repeated if the issue is not resolved in the first phase.
5. Once the issue is resolved, and the appropriate solution is provided, the help desk ticket
is closed.
a. Help desk requests that are deemed "not fixable" may remain open for an extended period of time.
14 Introduction
What is DIT's Demand for Services?
The workload for DIT staff is increasingly driven by help desk service tickets, with the number of
tickets steadily rising. In fiscal years 2018 and 2019, the help desk received approximately 7,421
tickets per year. This number has surged by about 10% to approximately 8,217 tickets per year
in fiscal years 2021 and 2022. The COVID-19 pandemic and the shift to remote work contributed
to this increase.
This translates to approximately 200 more tickets per analyst, with requests including:
• Support of remote work
• Additional device deployment
• Password resets
Self-reported data noted the help desk was able to close or resolve about 99.53% of the tickets
received. However, there is no documentation to support independent verification of this claim.
Tickets Received for FY 21-22 by Department.
Finance, 2,266.
Public Works, 1,960.
Information Technology, 1,492.
Planning, 1,214
Environmental Management, 1,180.
Parks & Recreation, 1,109.
Fire, 1,090.
County Clerk/ Council, 619.
Human Resources, 569.
Research and Development, 565.
Corporation Counsel, 467.
Prosecuting Attorney, 456.
Mayor's Office, 441.
Mass Transit Agency, 376.
Civil Defense, 337.
Office of Housing, 294.
Police, 260.
Elections, 193.
Liquor Control, 161.
Water Supply, 117.
Office of Aging, 112.
County Auditor, 107. and
Legislative Research, 4.
Compiled by the Office of the County Auditor
Introduction 15
How are help tickets submitted?
Historically, help desk tickets could be initiated with three options:
1. Submitting a ticket through DIT's Support Center — IT HelpSpot Portal
2. Sending an email to helpdesk@hawaiicounty.gov
3. Contacting the help desk ticket phone line at (808) 961-2932
While the phone line still exists, management stated it had been placed out of operation and is
not regularly monitored. Calls to the phone line are generally not assigned a ticket number unless
they are more extensive and require further review. This ultimately impacts the number of tickets
reported as received, closed, or outstanding.
HelpSpot is a comprehensive web -based solution designed to manage customer support needs.
It includes several features such as knowledge base, reporting, automation, organization and
response, customization, and branding. DIT's Help Desk has used HelpSpot since 2010, and
management has confirmed that they are currently using the latest version of the software
(version 5.3.0), which provides a wide range of capabilities.
How are hely tickets arioritized?
Help desk requests are prioritized as ordered below
1. Public Safety/First Responders
2. Department of Finance & Department of Vehicle Registration and Licensing
3. Network issues
4. Hardware issues and deployments
5. All other issues are processed in the order they are received
The help desk receives a constant influx of requests of varying complexity. While unable to
specifically categorize requests by type, the most common include:
• Password resets or lockouts
• Software updates
• System malfunctions
• Data recovery requests
• Equipment deployments
Help desk staff identified delays in ticket resolution, which may be caused by incomplete
information from end-users, reliance on third -party vendors, or its inability to provide a solution.
Tickets with no resolution generally remain outstanding for long periods of time, with no updates
being provided to the end user. There is currently no written, formal process to address these
tickets.
16 Introduction
Performance Self -Assessment
We conducted interviews with DIT management and help desk staff to assess their perception of
their current level of performance. The help desk staff were asked a series of 50 questions. When
asked about their biggest challenges, 80% noted being understaffed, 50% cited communication
issues, and 40% stated that the lack of policies and procedures might affect efficiency. Staff also
expressed frustration with their current software, which they said lacked standard features such
as time and performance measurements, automated capabilities, and reporting and tracking
functions. As a result, the help desk staff cannot provide metrics such as average days
outstanding or their average response time.
Help desk staff has faced unique challenges regarding requests for personal or unsupported
devices. More specifically, a county department purchased three Surface Pro tablets that were
found to be incompatible with the County's network and functioning capabilities. Despite DIT's
recommendation to return them, these devices remain inoperable and in the County's possession.
We examined the October 2020 Info -Tech Consultant's report to gain further insight into DIT 's
performance compared to 100 municipalities and local governments. DIT acknowledged that
there were areas where they needed to improve and are taking steps to increase their efficiency.
Criteria
We compared the Department of Information Technology's Help Desk and Work Order processes
with industry best practices, Control Objectives for Information Technology (COBIT-19), and the
Information Technology Infrastructure Library (ITIL) with integrated elements of the Information
Technology Investment Management (ITIM).
ITIL is a library of best practices for managing services and improving support and service levels.
Its main goal is to ensure IT services align with business objectives despite possible changes.
COBIT-19 provides a framework to bridge the gap between technical issues, business risks, and
control requirements. Elements of ITIL have been integrated into the current COBIT-19
framework.
Introduction 17
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Chapter 2
Audit Results
Our audit of the Department of Information Technology's help desk revealed significant
shortcomings in its operational practices and management. We have identified multiple
opportunities to improve the help desk's effectiveness and efficiency. These findings are critical
as they indicate the need for written policies necessary for the help desk's smooth functioning.
Specifically, we found that the help desk lacks key performance indicators (KPIs) to measure its
performance. This gap prevents the monitoring and evaluation of the help desk's progress toward
its goals, hindering efforts to identify areas of improvement. Moreover, the absence of written
policies and procedures has resulted in errors, inconsistencies, increased downtime, and
frustration for end-users. The frequency of help desk's monitoring and oversight practices poses
significant risks as potential issues can go unnoticed, causing more significant problems in the
future.
Further, we discovered that the help desk lacks adequate training opportunities for its
management, staff, and end-users. This absence of training hampers the help desk's efficiency,
resulting in an inability to maintain the requisite skills and knowledge to effectively handle IT
issues. Additionally, underutilization of resources, such as software, and personnel, directly
results from the help desk's deficiency in training and education. This underutilization can result
in unnecessary costs and reduced efficiency.
In conclusion, our findings identify critical areas for improvement in the management and
operation of the help desk. To address these issues, we recommend that the Department of
Information Technology implements our suggestions to make the help desk more effective and
efficient in managing workflows and providing IT support to end-users.
Audit Results 18
Illustration of DIT's current and target organization maturity level.
Innovator (Green) - Transforms the Business, Reliable Technology Innovation.
Target.
Business Partner (Blue) - Expands the Business, Effective Execution on Business Projects, Strategic Use of Analytics and Customer Technology.
Trusted Operator (Baby Blue) - Optimizes the Business, Effective Fulfillment of Work Orders, Functional Business Applications, and Reliable Data Quality.
Now.
Firefighter (Orange) - Support the Business, Reliable Infrastructure and IT Service Desk.
Unstable (Red) - Struggles to Support,
Inability to Provide Reliable Business Services.
Source: DIT InfoTech Research Group Study, 2020
A study conducted in 2020 by Info -Tech Research Group compared the Department of Information
Technology (DIT) of Hawaii County with 100 municipalities and local governments. It found that
DIT was underperforming in areas of network and communications (69%), help desk (72%), and
business applications (68%). The study used a maturity model to measure progress in people,
processes, and technology and identified the top five services provided by DIT - IT:
1. Network and communications
2. Help Desk
3. IT security
4. Devices
5. Business applications
According to the study, at the time of the evaluation, DIT was at a critical stage, deemed unstable
and unable to support its business but positioned to transition from a reactive state to a proactive
one. DIT administration stated their goal of becoming a business partner by executing projects
effectively, using analytics strategically, and leveraging customer technology to expand the
business.
Despite being identified as underperforming, the Department of Information Technology has
maintained the status quo and continues to provide only minimally adequate support for the
County's operations.
19 Audit Results
No Performance Metrics
Overview
The Control Objectives for Information Technology (COBIT-19) is a framework that provides
guidelines for IT governance, risk management, and performance management. It recommends
defining key performance indicators (KPIs) to measure IT processes' effectiveness and efficiency
and align them with the organization's goals. More specifically, "management should prioritize
initiatives for improvement based on potential benefits and costs. Implement agreed
improvements, operate as normal business practices, and set performance goals and metrics to
enable monitoring of improvements."
Some KPIs recommended by COBIT-19 include:
• Availability and reliability of IT services
• Mean time to repair (MTTR) for IT incidents
• Number of IT security incidents and their severity level
• IT project delivery on time and within budget
• Compliance with regulatory and legal requirements
ITIM, or IT Infrastructure Library (ITIL) Maturity Model, further emphasizes the need for developing
and maintaining KPIs to measure IT service delivery, support, and management. Some KPIs
include:
• Customer satisfaction with IT service
• Number of IT incidents and their resolution time
• First call resolution rate for help desk support
• Service level agreement (SLA) compliance
• Change success rate for IT changes
In summary, KPIs are critical in effectively measuring and improving IT performance while
ensuring end-user satisfaction.
Audit Activity
We reviewed the Government Accountability Office's Information Technology Investment
Management Manual, department program objectives, and industry best practices, compared
help desk workflows, conducted site visits, interviewed appropriate management and staff, and
identified the following weaknesses:
• The Help Desk lacks key performance indicators (KPIs) and metrics to measure quality,
customer satisfaction, and productivity
• Although the Help Desk had planned to develop service metrics to improve service quality
and response in its 2010 program objective, this has not been implemented
• The Help Desk does not adhere to any industry standards or best practices
• Help Desk staff do not know how to adequately utilize its current software to compile
performance data and metrics
• The Help Desk is unable to measure its performance
No Performance Metrics 20
• A standard metric or goal has not been established by the Help Desk for how long a help
ticket should remain open
• Help Desk management cannot clearly understand their service -level expectations until
they have metrics to weigh them against
The weaknesses identified in the help desk's KPIs and metrics, lack of industry standards, and
inability to measure performance may hinder their ability to provide adequate support to the
County. Addressing these issues will improve the efficiency, quality, and end-user satisfaction of
help desk services.
Cause of the Condition
DIT's help desk lacks a clear understanding of its performance and does not measure its efficiency
and effectiveness.
Effect of the Condition
DIT's help desk is unable to measure and evaluate the efficiency and effectiveness of its
operations.
Finding 1: Lack of Key Performance Metrics
Recommendation 1: Establish Performance Metrics
We recommend DIT's help desk establish performance metrics as it aligns with department
expectations and industry best practices. Elements should include:
a. Develop and implement key performance indicators (KPIs) and metrics to measure the
effectiveness and productivity of the Help Desk based on industry standards.
b. Utilize HelpSpot to its full potential to measure performance and collect valuable data that
can be used to improve operations.
c. Train Help Desk staff on the importance of performance metrics and KPIs and how to use
HelpSpot to collect and analyze data.
In addition, these KPIs should be regularly monitored and reviewed to ensure that they remain
relevant and effective.
21 No Performance Metrics
No Written Help Desk Policies and Procedures
Overview
COBIT-19 states that management evaluate and update policies and procedures at least annually
to accommodate changing operating or business environments. In addition, it allows management
to identify gaps in capability and control, while providing options for process improvement and
redesign.
Policies and procedures are essential for ensuring efficient and effective service delivery to users.
Some reasons why such are necessary include:
• Consistency: Policies and procedures provide a consistent IT help desk operations
framework. They ensure all staff members are on the same page, adhering to the same
standards, and using the same processes to resolve issues. Consistency helps to improve
the quality of service provided.
• Compliance: Policies and procedures ensure organizational, industry, and legal
regulations compliance. Compliance ensures that staff are meeting their obligations and
responsibilities.
• Risk Management: Policies and procedures help teams identify potential risks and take
the necessary steps to mitigate them. Established procedures assist in minimizing errors,
omissions, and other risks that could negatively impact the department.
• Efficiency: Well-designed policies and procedures can help streamline operations, reduce
response times, and increase productivity.
• Improved Customer Service: Policies and procedures can help provide better customer
service by ensuring that issues are handled promptly, consistently, and effectively. This
increases trust among users and improves overall satisfaction.
Help desk policies and procedures should address all levels of the help desk process, including,
but not limited to:
• Service Level Agreements (SLAs): These define the level of service that IT help desk will
provide its end-users, such as response time, resolution time, and availability. SLAs help
set expectations and provide accountability for both staff and end-users.
• Incident Management: This includes logging, prioritizing, tracking, and resolving incidents
reported to the help desk. These policies and procedures should ensure that incidents are
handled promptly and efficiently, ensuring all information is documented.
• Problem Management: This involves identifying and addressing the root cause of recurring
incidents to prevent them from happening in the future. These efforts should help identify
incident patterns and trends and address the underlying issues.
• Change Management: This involves managing changes in systems and infrastructure.
These should ensure that changes are properly assessed, planned, tested, and
implemented to minimize the risk of negative impacts on services.
• Security Management protects against security threats and identifies weaknesses.
• Customer Communication: This ensures customers and end-users are informed and
satisfied with the service.
No Written Help Desk Policies and Procedures 22
• IT help desk policies and procedures should be designed to ensure services are delivered
efficiently, effectively, and securely while meeting end-users' needs and expectations.
Audit Activity
We conducted site visits, interviewed management and staff, requested documents, and identified
the following weaknesses:
• As of April 2023, DIT's help desk did not have any policies and procedures over the help
desk and work order process
• Although management stated that standardizing help desk processes was a priority in
2020, progress has been limited.
The absence of written policies and procedures hinders the department's ability to align with
internal expectations and industry best practices while limiting monitoring processes. Establishing
written policies and procedures provide benefits including, but not limited to:
• Defining role expectations
• Ensuring compliance
• Increasing accountability and awareness
• Protecting both the department and its employees
• Identifying anomalies
• Building a stronger culture
• Providing opportunities for clarification and improvement
Cause of the Condition
As of April 2023, the Department of Information Technology had no written policies and
procedures for the help desk and work order process.
Effect of the Condition
The lack of written policies and procedures has resulted in inconsistent practices and inefficient
work processes, leading to longer resolution times and decreased user satisfaction.
Finding 2: No Written Policies and Procedures
Recommendation 2: Develop and Enforce Policies and Procedures
We recommend DIT's help desk continue to develop, implement, and formalize written policies
and procedures to provide requisite knowledge and expectations among help desk staff.
Additionally, management should prioritize a schedule to review and update policies and
procedures annually to reflect changes in technology, business needs, and industry best
practices.
23 No Written Help Desk Policies and Procedures
Lack of Monitoring and Oversight
Overview
COBIT-19 states that management should perform operational procedures such as monitoring
various elements in and throughout the help desk process and use these monitoring results to
implement improvements and ensure cost-effectiveness. Further, monitoring incidents and
problems dealing with operational procedures allows management to take appropriate action to
improve operational tasks' reliability.
Monitoring and oversight are essential to ensure work orders and requests are handled efficiently
and effectively and to identify any deficiencies or vulnerabilities in the help desk's operations. The
lack of monitoring and oversight increases the risk of the mismanagement of resources and
inadequate IT service delivery. This may lead to financial waste, decreased efficiency, and a lack
of transparency and accountability, which can directly impact the department's ability to meet its
objectives and uphold public trust.
As help desk service demands increase, there is a higher risk of resources being mismanaged or
inefficiently allocated, resulting in longer delays and decreased productivity. Additionally, the
increased complexity of technology advancement necessitates oversight to identify and mitigate
identified risks. By implementing effective monitoring and oversight activities, help desk
management can ensure that resources are used effectively, service delivery is efficient, and risks
are identified and mitigated in a timely manner.
Failure to adequately engage in sufficient monitoring and oversight activities increases risks such
as:
• Increased security risks
• Decreased efficiency
• Financial waste
• Compliance violations
• Inadequate service delivery
Audit Activity
To evaluate monitoring and oversight, we observed daily processes through site visits, reviewed
flow charts, and interviewed appropriate management and staff as compared to industry best
practices and found:
• Help desk staff work autonomously where each individual works independently but has
not been given clear direction or expectation
• Help desk management currently has an informal process for monitoring productivity and
performance
• Help desk management does not have a defined service -level expectation
Lack of Monitoring and Oversight 24
Cause of the Condition
DIT help desk management's low prioritization of monitoring and oversight practices offer areas
of improvement in establishing and implementing such activities in their daily operations.
Effect of the Condition
Management is unable to enforce quality control issues, ensure resources are adequately
allocated, and ensure efficiency, effectiveness, and satisfaction of help desk services provided to
end-users.
Finding 3: Lack of Monitoring and Oversight
Recommendation 3: Increase Monitoring and Program Oversight
We recommend DIT's help desk memorialize and maintain routine monitoring and oversight
procedures for internal controls to ensure their effectiveness in the help desk's day-to-day
operations. Elements should include:
a. Developing a process for monitoring help desk staff productivity and performance to
identify improvement areas and optimize service delivery.
b. Defining service -level expectations and metrics to ensure that the helpdesk meets
department goals and expectations and provides high-quality service to end-users.
c. Implement regular oversight reviews to ensure that the helpdesk is complying with
applicable industry best practices, laws, and governance and is achieving the expected
results.
d. Provide clear direction and expectations for helpdesk staff to ensure they work
effectively and efficiently towards department goals.
e. Ensure that dedicated oversight is responsible for reviewing and monitoring the helpdesk
service to identify and address any issues or areas for improvement.
25 Lack of Monitoring and Oversight
Lack of Training Initiatives
Overview
COBIT-19 states management should consider ways to improve efficiency and effectiveness
through training, documentation, standardization, and process automation. Formal and informal
training allows employees to understand their roles and responsibilities better. This directly
impacts overall departmental performance, where processes become more efficient while
increasing awareness amongst employees.
Management Training
Management training is crucial in help desk environments because it ensures supervisors have
the skills and knowledge to effectively lead and manage their teams. In addition to technical
expertise, effective management at the help desk requires the ability to communicate effectively,
manage conflict, prioritize and track tasks, and motivate team members. The lack of proper
training may hinder performance, resulting in decreased customer satisfaction and misalignment
with the department's goals and expectations.
Employee Training
Employee training is essential in IT help desk environments because it ensures employees have
the necessary skills and knowledge to resolve technical issues and provide quality customer
service effectively. With technology rapidly evolving, it is critical for employees to continually
update their skills and expertise to keep pace with the latest developments. By investing in
employee training, the department can ensure the help desk is equipped to provide high-quality
technical support and meet the evolving needs of its end-users.
End -User Training
End-user training is essential to the department's inner operating expectations. More specifically,
end-user training:
• Improves the overall productivity of the user
• Adds value to the organization as a whole
• Improves accuracy levels
Many technical issues arise due to end-user error or lack of understanding. Providing end-users
with proper training can help reduce these issues and improve overall efficiency. This can also
increase customer satisfaction by enabling them to utilize technology more effectively to achieve
their goals. This may reduce their reliance on the help desk, allowing staff to focus on more
complex technical issues. End-user training aids in lowering support costs, improving customer
satisfaction, and enhancing overall business success.
Training materials and programs should be reviewed regularly to ensure adequacy for changing
business requirements and their impact on necessary knowledge, skills, and abilities.
Lack of Training Initiatives 26
Audit Activity
To determine if DIT provided adequate training, we reviewed relevant documents, conducted
interviews with appropriate management and staff, and made observations during site visits and
found:
• While training was previously integrated, there is currently no formalized training for
employees
• The lack of written policies and procedures makes it difficult for training to be a priority
• DIT lacks uniformity and transparency in daily operations
• End-users often unknowingly hinder efficiency due to their lack of understanding and
knowledge of help desk processes
• DIT does not provide training to end-users which can lead to confusion and inefficiencies
Cause of the Condition
DIT's management does not prioritize training for help desk staff and end-users, leading to a lack
of understanding and knowledge about help desk processes and hindering the efficiency and
effectiveness of daily operations.
Effect of the Condition
The lack of training throughout DIT results in reduced productivity, increased errors,
inconsistencies in help desk processes, decreased customer satisfaction, and a lack of
compliance with internal expectations and industry best practices.
Finding 4: Lack of Training
Recommendations 4 & 5: Provide Training
We recommend DIT's help desk implement formalized training programs for help desk staff to
ensure they are equipped with the necessary skills and knowledge to support the technology
needs of the County of Hawaii. This should include training on new and existing tools and
ongoing professional development opportunities to ensure that staff is up-to-date on industry
best practices and department expectations.
We further recommend DIT provide training to end-users on the appropriate use of the Help
Desk. This training should include education on submitting and prioritizing work orders,
providing adequate and complete information when submitting a ticket, and the importance of
following up with the Help Desk for updates and resolution.
27 Lack of Training Initiatives
Under Utilization of Resources
Overview
COBIT-19 states that management ensures both the enterprise and IT functions have sufficient
resources to support enterprise goals and objectives, business processes and controls, and IT -
enabled initiatives adequately and properly. Management should also understand the current and
future demand for human resources to support the achievement of IT objectives and to deliver
services and solutions based on the portfolio of current IT -related initiatives, the future investment
portfolio, and day-to-day operational needs.
With the increasing reliance on technology, customers and employees have a higher expectation
for IT support services. These expectations include timely and effective support and fast and
efficient service. Despite these demands, the Hawaii County Department of Information
Technology has consistently operated with a budget and staff size less than one-third of the public
sector's average since 2020, with IT's budget accounting for only 0.8% of the County's revenue,
and IT staff comprising less than 1.4% of the County's users. The help desk division has been
particularly affected, remaining staffed at minimal levels with only five employees since its
establishment in 2005.
The help desk staff frequently faces the challenge of contacting other sections and third -party
vendors to obtain information and resources that are not within their scope of work. Additionally,
the rising demand for support and services has put pressure on their ability to provide prompt
solutions, leading to the need for overtime and work beyond regular business hours. It is worth
mentioning that their ticketing system only monitors help desk tickets and does not track projects
or other tasks assigned to help desk staff.
We noted that DIT had a perception that HelpSpot was complex and limited in its ability to support
its daily functions, increasing staff frustrations and work strains. However, upon our review and
discussions with HelpSpot, we found a possible misalignment and knowledge gap between the
department's understanding of its software's capabilities and its actual capabilities.
Under Utilization of Resources 28
The following table shows the features offered by HelpSpot and the extent of their utilization by
DIT's help desk.
Feature/Function Offered by HelpSpot Used by DIT Help Desk
Reporting Check Mark
Ticket Volume Check Mark Check Mark
Resolution Speed Check Mark
First Response Speed Check Mark
Assignment Speed Check Mark
Time Tracking Check Mark
Trend Analysis Check Mark
(Categorization)
Collision Detection Check Mark
Automation Check Mark
SLAs &Automation Rules Check Mark Check Mark
Automatic Assignment Check Mark Check Mark
Recurring Tickets Check Mark
Saved Responses Check Mark Check Mark
Filters Check Mark Check Mark
Customer Details Check Mark Check Mark
Ticket Details Check Mark Check Mark
Date &Time Check Mark
Custom Fields Check Mark Check Mark
Categorization Check Mark
Compiled by the Office of the County Auditor
While having resources is essential, it is equally important to understand how to use them
effectively. DIT staff currently encounter difficulties utilizing the resources available, specifically in
the HelpSpot system, and resort to implementing an extensive workaround to obtain necessary
29 Under Utilization of Resources
information. This inefficiency limits DIT's capacity and productivity, reducing efficiency and
effectiveness in fulfilling their responsibilities.
Audit Activity
To evaluate DIT's budget, staffing, and resource allocation, we conducted a comprehensive
assessment that included reviewing organizational charts, position descriptions, and software
specifications, interviewing staff members, conducting site visits, making observations, and found:
• Help desk staffing has remained consistent since its inception
• Help desk software was implemented over 13 years ago for its cost-saving benefits
• Help desk staff lack proficiency in using the ticketing software effectively to measure
performance and efficiency
• Help desk's current environment is not well-suited to cope with the rising demand for
support and services
• The help desk does not adequately utilize automated features
While the demand for services is increasing and staffing levels remain the same, simply hiring
additional personnel may not be the most effective solution. The department should first analyze
its program architecture, explore opportunities to automate solutions to reduce call volume, and
optimize the utilization of its existing software. Then, the department can reassess its resource
needs to determine if additional staff is still necessary to meet current and future demands.
Cause of the Condition
DIT has not assessed its staffing needs and thoroughly analyzed its program architecture to
identify opportunities for automation and optimization.
Effect of the Condition
DIT cannot meet the increasing demand for technology services, which can negatively impact the
County of Hawai`i's overall success.
Finding 5: Resource Utilization
Recommendation 6: Evaluate Budget, Staffing, and Other Resources
We recommend DIT assess its program architecture, staffing, and resource limitations and
develop a plan to address these issues as follows:
First, thoroughly analyze their current program architecture to determine whether they
adequately support the needs of the County of Hawai`i's domain. This analysis should
consider the increasing demand for technology services.
In addition, DIT should review its current staffing levels and resource allocation, including
hardware, software, and other technology assets, to determine if there are any areas
where additional investments could improve the efficiency and effectiveness of the help
desk. This review should consider the need for up-to-date hardware and software tools,
Under Utilization of Resources 30
additional staffing, and other resources that could help improve the quality of service
provided to end users.
31 Under Utilization of Resources
Chapter 3
Fraud, Waste and Abuse
As a practice, we remain mindful and
document instances of fraud, waste, and
abuse within the scope of the audit
objective and not specifically Countywide.
Management reported no fraud, ongoing
investigations, and pending litigation that
may impact this audit.
We did not identify instances of fraud,
waste or abuse throughout this audit
engagement.
Fraud Triangle Diagram.
Pressure: Financial or emotional force pushing towards fraud.
Opportunity: Personal justification of dishonest actions.
and
Rationalize: Ability to execute plan without being caught.
Graphic: Fraud Triangle, courtesy Office of the County Auditor
Fraud, Waste, and Abuse 32
Conclusion
The Office of the County Auditor has concluded its audit with the County of Hawaii Department
of Information Technology's Help Desk section. Our review has led us to make six
recommendations.
When our recommendations are implemented in good faith, the department can expect the
following benefit:
Establish Key Performance Metrics
1. Establishing performance metrics will allow management to identify areas for
improvement better and take corrective action where necessary, ultimately increasing
efficiency and effectiveness in help desk operations.
Develop and Enforce Written Policies and Procedures
2. Developing, implementing, and formalizing written policies and procedures increases
consistency and service quality, efficiency, better communication, and collaboration
among staff while increasing customer satisfaction and reducing risks throughout the
department.
Developing a schedule will allow management and staff to collaborate their efforts and
provide, where necessary, updates that may continue to promote awareness and
productivity.
Increase Monitoring and Program Oversight
3. Prioritizing monitoring and oversight will ensure efficient and effective service delivery,
prevent security breaches and other IT failures, and enhance customer satisfaction. It
can also identify and address deficiencies and vulnerabilities in IT operations, improve
decision-making, and demonstrate the value of the IT department to the County.
Provide Training
4. Providing training to help desk staff and management can ensure they have the
necessary skills and knowledge to provide effective technological support for the
County of Hawaii. Ongoing professional development opportunities ensure staff is
updated with industry best practices and department expectations. End-user training
aids in understanding how to use the Help Desk properly, submit help tickets, provide
the necessary information, and follow-up for updates and resolutions. Training efforts
can improve the quality of IT support, increase efficiency, and enhance end-user
satisfaction.
33 Conclusion
Evaluate Budget, Staffing, and Other Resources
5. By conducting a thorough analysis of the program architecture, staffing levels, and
resource allocation, DIT will be better able to identify areas to improve and increase
their capacity to support technology services and improve the quality of service to end-
users. This will reduce downtime, increase productivity, and save time and money. It
will also help DIT stay competitive with technological advancements and provide better
service to the County of Hawaii.
In closing, to improve government accountability and ensure audit recommendations are
implemented or resolved, we will continuously monitor the status of recommendations using our
remediation tracker. To view the department's status, visit us at:
https://www.hawaiicounty gov/our-county/legislative/office-of-the-county-auditor.
Conclusion 34
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Chapter 4
Management Response
Overview
The Department of Information Technology appreciates the time, effort, and diligence in
conducting an audit for our Helpdesk and work order processes. We appreciate the opportunity
to address the audit findings related to our Information Technology Help Desk operations and
acknowledge all five (5) findings. We have produced responses to the findings and
recommendations based on the S.M.A.R.T. (Specific, Measurable, Achievable, Relevant and
Time -bound) methodology.
As indicated in the findings, our previous audit in 2020 identified critical areas of improvement in
our policies and procedures. Despite these recommendations, progress has been limited due to
insufficient staffing and the broad range of topics that needed to be addressed. Our User Support
Program Manager, Matthew laukea, has made significant strides in implementing process and
procedural improvements, but we recognize the need for a more structured approach. In this
response, we have identified multiple industry best practices for policies and procedures.
However, we will concentrate on a single best practice to ensure the task is achievable within our
resource constraints.
We want to acknowledge that many of the audit findings are interconnected, and our responses
will reference objectives from other responses where applicable. This approach will ensure a
comprehensive understanding of our plan to address these findings and demonstrate the
interconnected nature of our solutions.
The original audit response deadline was April 12, 2023, coinciding with the Department of
Information Technology's budget briefing to the County Council. By allowing us to delay the
response, we have been able to incorporate crucial budgetary inclusions, which significantly
impact our ability to address the audit findings. Our staff will increase from 25 to 35 positions (of
which 5 are designated to the Helpdesk), and our operating expense budget will grow from
approximately $3,900,000 to $9,100,000 ($3,000,000 of which is dedicated to a computer
replacement project). These resources are essential for effectively addressing the identified
areas of improvement.
We are committed to addressing the audit findings and implementing the necessary
improvements to enhance our help desk operations. We look forward to working with you to
ensure a successful and efficient resolution of these findings.
Management Response 35
1. No Performance Metrics
We acknowledge the "No Performance Metrics" audit finding and recognize the importance of
establishing performance metrics for our Information Technology Help Desk operations. We
understand the need to measure and monitor our performance to identify areas for improvement,
ensure accountability, and enhance service delivery.
1.1. Specific: Identify Key Performance Indicators (KPIs) and metrics that align with
department expectations and industry best practices.
• Based on industry best practices the following are commonly identify critical KPIs and
metrics for help desk operations; including First Response Time (FRT), Average Ticket
Resolution Time (ATRT), Ticket Backlog (TB), Ticket Escalation Rate (TER), Customer
Satisfaction (CSAT), Average Ticket Count (ATC), First Response Resolution Rate
(FRRR), and Average Response Time (ART).
• Our objective is to reduce and effectively manage the Ticket Backlog (TB) KPI to ensure
timely resolution of issues and maintain high customer satisfaction.
• We will consult with industry experts to ensure our KPIs and associated metrics are in
line with industry best practices.
1.2 Measurable: Utilize the HelpSpot software to measure performance, collect data, and analyze
the effectiveness and productivity of the helpdesk.
• Configure HelpSpot to track and monitor Ticket Backlog KPI and metrics.
• We will set a target to reduce the current ticket backlog by 10% within one (1) year to
establish a baseline.
• Maintain a ticket backlog of no more than 10% above the baseline moving forward.
• Generate periodic performance reports, identifying areas of improvement and success.
• Analyze trends and patterns in the data to identify areas for process improvement and
optimization.
1.3 Achievable: Train helpdesk staff on the importance of performance metrics and KPIs and how
to use HelpSpot to collect and analyze data.
• Prioritize tickets based on urgency and impact to ensure critical issues are resolved
promptly.
• Develop training materials for help desk staff that cover the importance of the Ticket
Backlog KPI in relation to performance metric and using HelpSpot effectively.
• Schedule regular training sessions for helpdesk staff to ensure they understand and are
comfortable with the KPIs, metrics, and HelpSpot software.
• Monitor staff progress and provide ongoing support as needed.
1.4 Relevant: Align KPIs and metrics with department goals and overall organizational objectives
36 Management Response
• Reducing and managing the ticket backlog aligns with our department's mission of
empowering the County of Hawaii with modern technologies and serving our citizens
efficiently and effectively.
• It will enable us to improve the quality of service provided to end-users and ensure that
our help desk operations meet department goals and expectations.
• Communicate the relevance of the KPIs and metrics to help desk staff to promote
understanding and buy -in.
1.5 Time -bound: Implement the KPIs, metrics, and training within a defined timeline.
• Our target is to reduce the ticket backlog by 10% within one (1) year and maintain a
backlog of no more than 10% above the baseline thereafter.
• We will monitor and review our progress monthly and make any necessary adjustments
to our strategies to ensure we meet our target.
• Responsibility of monitoring progress will be held by the Information Systems Analyst V
position being added to the help desk section in fiscal year 2023-2024.
• Responsibility of overseeing progress will be held by the User Support Program
Manager and Director position within the Department of Information Technology.
• Biannual training sessions for help desk staff for continual engagement with Ticket
Backlog KPI, metrics and HelpSpot software understanding and support.
2. No Help Desk Policies and Procedures
We acknowledge the "No Help Desk Policies and Procedures" audit finding and understand
the significance of having well-defined policies and procedures for our Information Technology
Help Desk operations. These policies and procedures are essential for providing clear
guidance and expectations to our help desk staff while ensuring consistent, efficient, and
effective service delivery.
2.1. Specific: Develop and implement comprehensive help desk policies and procedures to
provide requisite knowledge and expectations among help desk staff.
• Documented policies and procedures, including incident management, customer
communication, escalation procedures, and Service Level Agreements (SLA) have been
identified as needing attention.
• Our objective is to create and implement a clear and detailed SLA for computer
deployment, outlining the expectations for turnaround time, quality, and communication
with end-users.
• We will consult with help desk staff, management, and industry experts to ensure the
policy and any associated procedures are comprehensive and adhere to best practices
Management Response 37
2.2. Measurable: Establish a system to track the implementation and adherence of the
developed policies and procedures.
• Utilize the department's current Laserfiche document repository for help desk policies
and procedures to ensure easy access and version control for current SLA and future
policies and procedures.
• Implement a system for monitoring staff compliance with the SLA, such as periodic
audits, spot checks, or reporting mechanisms.
• Develop a detailed SLA for computer deployment that includes specific timeframes for
each stage of the deployment process, from request to setup and delivery.
• Establish a standardized process for computer deployment that ensures consistency and
adherence to the SLA.
• Train help desk staff on the new SLA and the deployment process to ensure they
understand the expectations and can efficiently deploy computers.
• Communicate the SLA to end-users so they are aware of the expectations for computer
deployment and can plan accordingly.
• This will allow us to evaluate the effectiveness of the SLA and identify areas for
improvement.
2.3. Achievable: Provide training and support to help desk staff to ensure understanding and
compliance with the new policies and procedures.
• Develop a detailed SLA for computer deployment that includes specific timeframes for
each stage of the deployment process, from request to setup and delivery.
• Establish a standardized process for computer deployment that ensures consistency and
adherence to the SLA.
• Train help desk staff on the new SLA and the deployment process to ensure they
understand the expectations and can efficiently deploy computers.
• Communicate the SLA to end-users so they are aware of the expectations for computer
deployment and can plan accordingly.
2.4. Relevant: Ensure that the policies and procedures align with organizational objectives,
technological changes, and industry best practices.
• Implementing an SLA for computer deployment aligns with our department's mission to
empower the County of Hawaii with modern technologies and serve our citizens
efficiently and effectively
• This improvement will enhance help desk operations, ensuring timely and consistent
computer deployment for end-users
38 Management Response
2.5. Time -bound: Prioritize an annual schedule to review and update policies and
procedures to reflect changes in technology, business needs, and industry best
practices.
• Our target is to develop and implement the SLA for computer deployment within the next
three (3) months.
• We will monitor and review our progress monthly and make any necessary adjustments
to our strategy to ensure we meet our target.
3. Lack of Monitoring and Oversight
We acknowledge the "Lack of Monitoring and Oversight" audit finding and understand the
importance of establishing a robust monitoring and oversight program for our Information
Technology Help Desk operations. Effective monitoring and oversight ensure that our help
desk staff provide consistent, efficient, and high-quality service to end-users while adhering
to department goals, expectations, and industry best practices.
3.1. Specific: Develop a process for monitoring help desk staff productivity and performance
to identify improvement areas and optimize service delivery.
• Some of the industry best practices and recommendations for a monitoring and
oversight program include defining KPIs and performance metrics, implementing Service
Level Agreements (SLA), regular review of help desk performance, fostering a culture of
continuous improvement, implement an incident management process, and utilizing
technology to support monitoring and oversight.
• Our objective is to establish a monitoring and oversight program that encompasses staff
productivity, service -level expectations, clear staff direction, and dedicated monitoring for
our help desk operations on computer deployments.
3.2. Measurable: Define service -level expectations and metrics to ensure that the help desk
meets department goals and expectations and provides high-quality service to end-
users.
• We will track our progress by measuring help desk staff productivity, adherence to an
established Service Level Agreement (SLA) for computer deployments.
• Regular reporting and analysis of these metrics will inform our ongoing monitoring and
oversight efforts
Management Response 39
3.3. Achievable: Implement regular monitoring and oversight reviews to ensure that the help
desk complies with applicable industry best practices, and achieves the expected
results.
• Create a position within help desk that will have the responsibility of reviewing and
monitoring help desk services, identifying and addressing any issues or areas for
improvement, and reporting to management for oversight.
• Develop and implement a process for monitoring help desk staff productivity and
performance, using performance metrics and key performance indicators (KPI) for Ticket
Backlog.
• Tie in the established SLA for computer deployment to ensure that the help desk meets
department goals and expectations while providing high-quality service to end-users.
• Schedule and conduct regular oversight reviews to assess compliance with industry best
practices, and to ensure the help desk is achieving the expected results.
• Provide clear direction and expectations for help desk staff through documented policies,
procedures, and training to ensure effective and efficient work towards department
goals.
3.4. Relevant: Provide clear direction and expectations for help desk staff to ensure they
work effectively and efficiently towards department goals.
• Implementing a monitoring and oversight program for computer deployment aligns with
our department's mission to empower the County of Hawaii with modern technologies
and serve our citizens efficiently and effectively.
• This improvement will enhance help desk operations, ensuring a high-quality support
experience for our end-users.
3.5. Time -bound: Ensure that dedicated oversight is responsible for reviewing and
monitoring the help desk service within a defined timeline to identify and address any
issues or areas for improvement.
• Our target is to establish the monitoring and oversight program within three (3) months
of fiscal year 2023-2024 beginning, as positions will not be allocated until that time.
• We will monitor and review our progress regularly and make any necessary adjustments
to ensure we meet our target.
40 Management Response
4. Lack of Training Initiatives
We acknowledge the "Lack of Training Initiatives" audit finding and understand the
significance of implementing formalized training programs for our Information Technology
Help Desk staff, as well as providing training to end-users on appropriate ticket request usage.
A well-trained staff and educated end-users will contribute to the efficiency and effectiveness
of our help desk operations.
4.1. Specific: Implement formalized training programs for help desk staff to ensure they have
the necessary skills and knowledge to support the technology needs of the County of
Hawaii.
• Our primary objective is to establish and implement proper ticket categorization training
for help desk staff.
• Our secondary objective is to provide end-user education on submitting tickets with
adequate information through a website portal.
4.2. Measurable: Provide ongoing professional development opportunities to help desk staff
to ensure they are up-to-date on industry best practices and department expectations.
• We will track our progress by monitoring improvements in ticket backlog, as there are
correlations between categorization accuracy and ticket backlog counts.
4.3. Achievable: Deliver training to end-users on the appropriate use of the Help Desk to
improve overall service quality and efficiency.
• Develop and implement a formalized ticket categorization training program for help desk
staff, focusing on quickly and accurately sorting tickets to ensure ticket backlog
reduction.
• Design and deploy a website portal that guides end-users in submitting tickets with all
necessary information, such as categorization, issue details, and relevant attachments.
• Utilize the newly added Information Systems Analyst V position in help desk to monitor
staff training and report to the User Support Program Manager for oversight.
4.4. Relevant: Align training programs and professional development opportunities with the
help desk's objectives and the County of Hawai`i's technology needs.
• Implementing the ticket categorization training initiative will align with our department's
mission to empower the County of Hawaii with modern technologies and serve our
citizens efficiently and effectively.
Management Response 41
• Improved ticket categorization and end-user education will streamline help desk
operations and support end-users more effectively.
4.5. Time -bound: Implement training programs and professional development opportunities
within a defined timeline.
• Our target is to establish and implement the ticket categorization training initiative within
the next six (6) months.
• We will monitor and review our progress regularly and make any necessary adjustments
to ensure we meet our target.
5. Under Utilization of Resources
We acknowledge the "Under Utilization of Resources" audit finding and understand the
importance of assessing our program architecture, staffing, and resource limitations to better
serve the County of Hawai`i's technology needs. A thorough analysis and appropriate
allocation of resources will contribute to the efficiency and effectiveness of our help desk
operations.
5.1. Specific: Thoroughly analyze the current IT program architecture to determine if it
adequately supports the needs of the County of Hawai`i's domain, considering the
increasing demand for technology services.
• Our objective is to assess and optimize our program architecture, staffing, and resource
allocation to better support the needs of the County of Hawaii and improve help desk
efficiency and effectiveness.
5.2. Measurable: Review current staffing levels and resource allocation to determine if
additional investments could improve the efficiency and effectiveness of the help desk.
• We will track our progress by monitoring the improvements in help desk performance
through the Ticket Backlog KPI, identified in prior responses.
5.3. Achievable: Develop a plan to address identified gaps in program architecture, staffing,
and resource allocation.
• Continue collaborating with the Mayor's Office and Finance Department through the
Information Technology Task Force, which can provide thoughts on proposed program
architecture and provide recommendations for improvements.
• Improve upon the yearly budget submission process, that requires all departments to
project a five-year outlook on their information technology needs.
• Add 10 new positions in the upcoming fiscal year 2023-2024, with five dedicated to the
help desk, to address the increasing demand for technology services.
42 Management Response
• Allocate $3,000,000 for the computer deployment project which will replace around 800
computers that will not support Microsoft Windows 11 before the mandatory deadline on
October 14, 2025.
5.4. Relevant: Ensure that the plan aligns with the County of Hawai`i's strategic goals and
objectives.
• This plan aligns with our mission to empower the County of Hawaii with modern
technologies and serve our citizens efficiently and effectively.
• The added resources and staffing will enable us to improve help desk operations and
better support end-users.
5.5. Time -bound: Implement the plan within a defined timeline, and continuously monitor and
adjust the plan as needed.
• Our target is to implement these resource optimization measures within four (4) months
from the start of the next fiscal year covering 2023 to 2024, which will start July 1, 2023.
• We will monitor and review our progress regularly and make any necessary adjustments
to ensure we meet our target.
Management Response 43
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Tyler J. Benner
County Auditor
County of Hawaii
Office of the County Auditor
120 Pauahi St., 309
Hilo, HI 96720
808.961.8386
www. hawaiicounty.gov
The Office of the County Auditor is tasked with promoting accountability, fiscal integrity, and openness in local
government. Our work is intended to assist County government in its management of public resources, delivery of
public services, and stewardship of public trust. Copies of this audit report can be obtained by contacting the Office
of the County Auditor or visiting our website:
https://www. hawaiicounty.gov/our-county/legislative/office-of-the-county-auditor/audit-reports